financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake
, which shall be held within a specified period, and in any case, shall not be later than one hundred and twenty days as from the date of obtaining the license and the registration as an association related
be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the
the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not